Offering of Securities. Neither the Company nor any Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock to be issued pursuant to this Agreement under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would subject the offering, issuance or sale of any of the Common Stock to be issued pursuant to this Agreement to be subject to the registration requirements of the Securities Act. Neither the Company nor any Person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock pursuant to the transactions contemplated by this Agreement. Assuming the accuracy of the Investor’s representations and warranties set forth in this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock by the Company to the Investor.
Appears in 9 contracts
Samples: Investor Rights Agreement (Broadway Financial Corp \De\), Investor Rights Agreement (Broadway Financial Corp \De\), Subscription Agreement (Broadway Financial Corp \De\)
Offering of Securities. Neither the Company nor any Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock Shares to be issued pursuant to this Agreement the Transaction Documents under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would subject the offering, issuance or sale of any of the Common Stock to be issued pursuant to this Agreement to be subject such securities to the registration requirements of the Securities Act. Neither the Company nor any Person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock Shares pursuant to the transactions contemplated by this Agreementthe Transaction Documents. Assuming the accuracy of the Investor’s representations and warranties set forth in this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock Shares by the Company to the Investor.
Appears in 7 contracts
Samples: Investment Agreement (FNB United Corp.), Investment Agreement (FNB United Corp.), Investment Agreement (Central Pacific Financial Corp)
Offering of Securities. Neither the Company nor any Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock securities to be issued pursuant to this Agreement the Transaction Documents under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would might subject the offering, issuance or sale of any of the Common Stock to be issued pursuant to this Agreement to be subject such securities to the registration requirements of the Securities Act. Neither the Company nor any Person person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock Shares pursuant to the transactions contemplated by this Agreementthe Transaction Documents. Assuming the accuracy of the Investor’s Anchor Investors’ representations and warranties set forth in this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock Shares by the Company to the InvestorAnchor Investors.
Appears in 7 contracts
Samples: Investment Agreement (DBD Cayman, Ltd.), Investment Agreement (Anchorage Advisors, LLC), Investment Agreement (Hampton Roads Bankshares Inc)
Offering of Securities. Neither the Company nor any Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock Shares to be issued pursuant to this Agreement under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would subject the offering, issuance or sale of any of the Common Stock to be issued pursuant to this Agreement to be subject such securities to the registration requirements of the Securities Act. Neither the Company nor any Person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock Shares pursuant to the transactions contemplated by this Agreement. Assuming the accuracy of the Investor’s representations and warranties set forth in this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock Shares by the Company to the Investor.
Appears in 4 contracts
Samples: Subscription Agreement, Subscription Agreement (Central Pacific Financial Corp), Subscription Agreement (FNB United Corp.)
Offering of Securities. Neither the Company nor any Person person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock Securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would subject the offering, issuance or sale of any of the Common Stock such Securities to be issued pursuant to this Agreement to be subject to the registration requirements of the Securities Act. Neither the Company nor any Person person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock pursuant to the transactions contemplated by this AgreementSecurities. Assuming the accuracy of the Investor’s representations and warranties set forth in this AgreementSection 2.3, no registration under the Securities Act is required for the offer and sale of the Common Stock Securities by the Company to the InvestorInvestor under this Agreement.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Mackinac Financial Corp /Mi/), Securities Purchase Agreement (Mackinac Financial Corp /Mi/)
Offering of Securities. Neither the Company nor any Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Common Stock Shares to be issued pursuant to this Agreement under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which would subject the offering, issuance or sale of any of the Common Stock Shares to be issued pursuant to this Agreement to be subject to the registration requirements of the Securities Act. Neither the Company nor any Person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock Shares pursuant to the transactions contemplated by this Agreement. Assuming the accuracy of the Investor’s representations and warranties set forth in this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock Shares by the Company to the Investor.
Appears in 1 contract
Samples: Stock Purchase Agreement (Broadway Financial Corp \De\)
Offering of Securities. Neither the Company nor any Person person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which that would require the integration of such offering with the offering of any of the Common Stock Securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act and the rules and regulations of the SEC promulgated thereunder) which that would subject the offering, issuance or sale of any of the Common Stock such Securities to be issued pursuant to this Agreement to be subject to the registration requirements of the Securities Act. Neither the Company nor any Person person acting on its behalf has engaged or will engage in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with any offer or sale of the Common Stock pursuant to the transactions contemplated by this AgreementSecurities. Assuming the accuracy of the Investor’s representations and warranties set forth in Section 2.3 of this Agreement, no registration under the Securities Act is required for the offer and sale of the Common Stock Securities by the Company to the InvestorInvestor under this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (Summit Financial Group Inc)